CLE Courses

Broker-Dealer Fundamentals and Areas of Recent Regulatory Focus

Friday, July 15, 2022

Join Kyle Whitehead for a discussion on broker-dealer status matters, registration and its consequences, and enforcement trends from the SEC and FINRA.

For more information on this event, please contact Sharon James at at least 48 hours prior to event date.

CLE credit: CLE credit is currently pending approval in select states.